Federal Government Risk Reviews

Federal government funding agencies are increasing efforts to identify and counter unwanted foreign influence in federally-funded research.  One of the primary efforts important for UMD researchers seeking federal awards to understand, is the conduct of risk reviews.  While multiple sponsoring agenices are untaking varied versions of these reviews, including the NSF and DOE, the directive issued by the Under Secretary of Defense for Research and Engineering provides the most specific methodology to date.  While other agencies have not issued such specific guidance, we can presume that the approach taken by DOD is being similarly applied.

The Department of Defense (DOD) guidance is titled,  “Countering Unwanted Foreign Influence in Department-Funded Research at Institutions of Higher Education”  and includes three documents:

• June 8, 2023, Under Secretary of Defense Memorandum on Policy for Risk-Based Security Reviews of Fundamental Research. (pages 2 – 7)
• DOD Component Decision Matrix to Inform Fundamental Research Proposal Mitigation Decisions (“Decision Matrix). (pages 8 – 16)
• FY22 Lists Published in Response to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Public Law 115-232), as amended (“Lists”). (pages 17 – 21)

DOD components are required to develop policies and processes for the risk-based security review of proposals for funding for fundamental research projects. The “Decision Matrix” is a guide to be used by Program Managers and DOD components in reviewing proposals for potential conflicts of interest or commitment and to identify “actions prohibited by law that would preclude an investigator or institution from receiving funding from the Department.”

The DOD documents specify requirements for these policies and include a matrix of risk factors, some of which are prohibited or must be addressed via mitigation measures, and others for which mitigation measures are recommended, suggested, or not required. The matrix includes four key factors: 

• Foreign Talent Recruitment Program Factors
• Funding Sources Factors
• Patent Factors 
• Entity Lists Factors

DARPA

While the DOD guidance is new as of 2023, DARPA, in late 2021, established their Countering Foreign Influence Program (CFIP) directing the creation of risk assessments of all proposed Senior/Key Personnel selected for negotiation of a fundamental research grant or cooperative agreement award. The matrix utilized by DARPA in the conduct of these reviews varies slightly from the broader suggested DOD matrix.  Ratings run from Very High to High to Moderate to Low in each of the four risk factor categories:

• Foreign Talent Program
• Denied Entity Lists
• Funding Sources
• Foreign Institutions or Entities

An overall rating is assigned based on the review outcomes of these four categories.

WHAT DOES THIS MEAN FOR UMD RESEARCHERS SEEKING DOD AWARDS?

DOD components are beginning to conduct risk reviews of fundamental research project proposals and are notifying university research officials of proposals with identified Countering Foreign Influence Program (CFIP) issues.  In at least one instance, the DOD component noted that the CFIP assessment was based on materials submitted by the PI or openly available on the internet.  In those instances where mitigation measures are possible, research security personnel will engage with the DOD component representatives to learn the nature of the concern and will work with the PI and relevant university officials to determine appropriate mitigation measures, should the PI elect to continue with the project.

The Research Security Office will continue to monitor implementation of this policy by DOD components and will provide updates as available.